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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-10-16
RI RA APPROVED 2015-11-04
CT RA APPROVED 2006-05-31
  • FL RA
    APPROVED
    Since 2017-10-16
  • RI RA
    APPROVED
    Since 2015-11-04
  • CT RA
    APPROVED
    Since 2006-05-31

Branch Locations

2221 Washington St Ste 202, Newton, MA 02451-1417 • United States

191 Main St, Old Saybrook, CT 06475 • United States

50 Canal St, Putnam, CT 06260 • United States

Stonington, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Plantsville CT 05/2006 03/2020
Ameriprise Financial Services, Llc North Stonington CT 03/2020 Present
Previous Registrations
Other Businesses

Board of Directors; Kappa Rho Alumni Association of the Pi Kappa Alpha Fraternity; Secretary/Treasurer; 89 SERGIO FRANCHI DR, , STONINGTON, CT, 06378-2238; Not Investment-Related; 02/24/2010; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Self; Writer - Writing; Writer (fiction).; 89 SERGIO FRANCHI DR, , STONINGTON, CT, 06378-2238; Not Investment-Related; 12/01/2010; 1 to 9 hours per month; 0 during trading hours / Self; Voiceover actor - perform and record voiceover acting; Freelance voiceover work.; 89 SERGIO FRANCHI DR, , STONINGTON, CT, 6066; Not Investment-Related; 12/01/2010; 1 to 9 hours per month; 0 during trading hours / Bookkeeping Services; simple bookkeeping; bookkeeping services; 89 Sergio Franchi Dr, , Stonington, CT, 06378; Not Investment-Related; 08/07/2026; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-23
  • S66 Uniform Combined State Law Examination
    2005-09-23

View on SEC IAPD

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